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This document has been prepared as a guide for conducting self-assessments of ES&H functional programs and organizational (line) implementation of these programs. This guide is intended for use by individuals and/or teams involved in or familiar with ES&H programs and line operations (e.g., the {open_quotes}self{close_quotes}in self-assessment). Essential elements of the self-assessment process are described including: schedule and priorities, scope and approach, assessment criteria (e.g., performance objectives and measures), information gathering and analysis techniques, and documentation of planning efforts and results. The appendices in this guide include: (1) an assessment prioritization process, (2) generic performance objectives for line implementation and for ES&H functional programs, (3) sources for ES&H assessment information, (4) systemic factors (developed for SNL`s root cause analysis program), (5) Lockheed Martin audit questions for management systems, compliance and validation, and specific areas and concerns, (6) DOE facility representatives checklist, and (7) assessment tools and resources developed at SNL and other DOE/Lockheed Martin sites. This document is a product of the efforts associated with the SNL ES&H Oversight Pilot Project conducted from June 1995 to January 1997. This Pilot was part of the overall initiative by DOE to reduce burdensome agency oversight by placing greater reliance on contractor self-assessment.

This document provides an overview of the environment, safety, and health (ES&H) self-assessment and improvement process at Sandia National Laboratories (SNL). It also suggests further developments for self-assessment and improvement. Section 1 explains the many purposes of the self-assessment and improvement program. Section 2 is a description of ES&H self-assessment and improvement and includes information on performance objectives and performance indicators, self-assessment of work areas and activities, reporting of self-assessment results, improvements and corrective actions, and records retention. The sub-section on self-assessment of work areas and activities includes detailed descriptions of organizational self-assessment, ES&H functional program self-assessments, internal independent ES&H assessment, Lockheed Martin Corporate ES&H assessments, and ES&H self-assessment information analysis and integration. Section 3 defines the roles and responsibilities of the ES&H Assessment Department, ES&H Center, SNL management, SNL employees, and contractors, SNL {open_quotes}Line{close_quotes} organizations, and ES&H functional program owners. Section 4 references associated manuals, policies, and companion documents. The appendix is a glossary of terms used in ES&H assessments.